Free Mock Test NISM Investment Advisor Level-1

27
Created on

Free Mock Test NISM Investment Advisor Level-1

Mock Test NISM Investment Adviser (Level 1)

NISM Series (X-A) Investment Adviser (Level 1) Examination Pattern
Exam FeesRs. 1500 +
Test Duration2 Hours (120 Minutes)
Total Questions100 Questions
Maximum Marks100 marks
Passing Marks60% (60 Marks)
Negative Marking– 25% of the marks assigned to the question

NISM Investment Adviser (Level 1) Exam Syllabus Outline

UnitsChapter Name
Unit 1Introduction to Indian Financial Market
Unit 2Securities Market Segments
Unit 3Mutual Funds
Unit 4Investment Products
Unit 5Managing Investment Risk
Unit 6Measuring Investment Returns
Unit 7Concept of Financial Planning
Unit 8Asset Allocation and Investment Strategies
Unit 9Insurance Planning
Unit 10Retirement Planning
Unit 11Tax and Estate Planning
Unit 12Regulatory Environment and Ethical Issues

1 / 10

Which of the following activities does the merchant banker have to perform in the process of Issue Management?

2 / 10

A promoter of ABC company wants to raise resources through public issues. He was barred from accessing the capital market last year by SEBI on account of insider trading. Is he eligible to come out with public issue?

3 / 10

There is a restriction on the number of warrants being attached to public issues or rights issues. How many warrants can be attached to specified security?

4 / 10

SCORES system of SEBI does not deal with any complaints which fall under the purview of the other regulatory bodies i.e. IRDA, PFRDA, etc.

5 / 10

Every merchant banker shall submit to SEBI complete particulars of any transaction for the acquisition of securities of any Body Corporate whose issue is being managed by that merchant banker within ______ from the date of entering into such transaction.

6 / 10

The fees payable by the merchant banker on the grant of certificate of registration should be by a demand draft in favor of ‘Association of Investment Bankers of India (AIBI)’ payable at Mumbai.

7 / 10

The merchant banker leading a public offer is popularly known as the ‘Lead Manager’. State whether True or False.

8 / 10

Derivatives in which of the underlying assets are allowed in the Indian Market?

9 / 10

Who is a Qualified Institutional Buyer?

10 / 10

Which of the following ways are used by the Promoters to dilute/offload their holding in listed companies?

Your score is

The average score is 71%

0%

Other articles

Disclaimer : 

Blog Provides Views and Opinion as Educational Purpose Only, We are not responsible for any of your Profit / Loss with this blog Suggestions. The owner of this blog is not SEBI registered, consult your Financial Advisor before taking any Position.

Leave a Reply

Your email address will not be published. Required fields are marked *